Senior Internal Auditor

Job Title

Senior Internal Auditor

Job Description

Job Function –

Leads, plans, executes and reports on operational, financial, regulatory, and compliance related audits/reviews. Executes risk-based engagements that address strategic, financial, regulatory, compliance, and/or operational risk in accordance with department and Institute of Internal Auditor (IIA) standards.


Job Responsibilities –

35% - Plans engagements, performs testing/analysis procedures and completes audit reports.
35% - Leads SOX program including design walk-throughs, testing and reporting.
10% - Coordinates work with Risk, Legal, Compliance, External Audit, and other control-related activities as well as others within Internal Audit (e.g., co-sourced or outsourced partners).
10% - Coordinates and facilitates external audit requests and engagements.
10% - Supports the annual risk assessment and audit planning process.
• Ensures that own work as well the financial institution is in compliance with applicable regulations directly or through subordinates.
• All other duties as assigned.


Skills and Abilities –

• Superior knowledge of risk-based auditing attained through 2 to 5 years of progressive work experience with a focus on financial and/or regulatory requirements.
• Understanding of the standards of the Institute of Internal Auditors (IIA) and ability to fully comply with IIA standards.
• Ability to lead projects to follow sound internal control practices and to manage risks appropriately.
• Ability to critically think through problems and develop innovative and efficient solutions.
• Be adaptable and able to meet deadlines on assignments, juggle multiple demands and to work with all types of individuals up to and including the CEO.
• Strong skills in negotiating, relationship building, problem solving, and timely problem escalation.
• Excellent written and oral communication skills including report writing.
• Excellent time management and organizational skills.
• Detail oriented but able to quickly grasp the big picture.
• Proficiency in MS Office (Word, Excel, PowerPoint), Outlook, and Visio.


Working Conditions and/or Physical Requirements –

• Ability to work under stress and meet deadlines.
• Ability to operate a keyboard if required performing the essential job functions.
• Ability to read and interpret a document.
• Ability to travel if required to perform the essential job functions.
• Ability to lift/move/carry approximately 20 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department an “undue hardship” then the employee must be accommodated; hence, omitting lifting as a physical requirement.

Basic Qualifications

• Bachelor’s Degree required.
• 2+ years of experience related directly to Internal Audit or Accounting required.
• 2+ years of experience in a financial institution, heavily regulated industry, and/or publicly traded company preferred.
• Certified Internal Auditor designation (CIA) preferred.
• Secondary designation or post-graduate degree preferred (appropriate designations include Certified Fraud Examiner (CFE), Certified in Risk Management Assurance (CRMA), Certified Public Accountant (CPA), Certified Compliance & Ethics Professional (CCEP), or Certified Financial Services Auditor (CFSA), Certified Information Systems Auditor (CISA), or Certified Regulatory Compliance Manager (CRCM).